Compliance Risk. What Directors Need to Know Workshop Locations OCC Director Workshops

Transcription

1 Comptroller of the Currency Administrator of National Banks US Department of the Treasury 2012 OCC Director Workshops Compliance Risk What Directors Need to Know 2012 Workshop Locations New Brunswick, NJ* March 28 Birmingham, AL* April 18 St. Louis, MO* September 6

2 OCC Director Workshops Compliance Risk What Directors Need to Know As compliance requirements have multiplied, so have the responsibilities facing directors. After participating in this workshop, directors can expect to have a better understanding of the breadth of these responsibilities and what it takes to fulfill them. Jennifer Kelly, Senior Deputy Comptroller for Midsize and Community Bank Supervision Effective oversight of consumer laws and regulations can reduce the risk of financial loss, ensure quality service, and preserve a sound reputation. Consumer protection regulations, the Bank Secrecy Act (BSA) and anti-money laundering laws, and the Community Reinvestment Act (CRA) affect virtually all institution operations. Directors must recognize the scope and implications of the legislation that applies to their institutions. This one-day workshop combines lectures, discussions, and exercises designed specifically for outside directors of national community banks and federal savings associations. Topics addressed during the day are: Major compliance risks and critical regulations, such as BSA and CRA Critical elements of an effective compliance risk management program How to identify compliance red flags Current compliance hot topics Common OCC examination findings related to compliance risk Answers to your questions Communicate With the Regulators You will interact with instructors who are experienced examiners from the OCC. They are seasoned professionals who regularly assess compliance risk management systems and meet with senior managers and directors to discuss their findings and evaluations. They will share their experiences to help you improve your knowledge and skills. Enrollment is limited to 35 directors per workshop to allow open and targeted dialogue. Pre-course reading materials will be provided to enhance your workshop experience. Who Should Attend This workshop is geared primarily to outside directors of national community banks and federal savings associations that have assets less than $5 billion. Management directors could also benefit from attendance. Meet the Instructors Dave Grandison National Bank Examiner, Central District Vonda Eanes Community Affairs Officer, Community Development Division Laura Lewis Compliance Lead Expert, Northeastern District Kim Ford National Bank Examiner, Western District

3 Agenda Attire is business casual. Workshop 7:00 a.m. Registration Opens This very informative workshop was well worth the time. All directors, regardless of length of service, should attend. Reaction From Past Participant 8:00 a.m. Morning Session Introductions and Program Overview Regulations You Need to Know: Bank Secrecy Act Group Exercises 12:00 p.m. Lunch 1:00 p.m. Afternoon Session Compliance Risk Management Director s Role Group Exercises Wrap-Up 4:00 p.m. Adjourn Spencer Doak Compliance Lead Expert, Western District Beverly Hearns National Bank Examiner, Southern District Mary McKnight Compliance Lead Expert, Southern District

4 OCC Director Workshops Compliance Risk Workshop Registration Form Comptroller of the Currency Administrator of National Banks US Department of the Treasury Part 1 March 28, 2012 New Brunswick, NJ* April 18, 2012 Birmingham, AL* September 6, 2012 St. Louis, MO* Please register online at fax registrations to (240) , or mail to SEI Services, ATTN: OCC 2012, 8757 Georgia Avenue, Suite 1440, Silver Spring, MD You must be on the board of directors of a national community bank or federal savings association. Registrations will be accepted on a space-available basis only. A wait list will be established for all locations at which sessions are at maximum capacity. Registration fee for the workshop is $99 per participant. All cancellations must be in writing. Cancellations will be accepted by to occ@seiservices.com or by fax notification to (240) If a cancellation is received less than one month before the workshop, no refund will be issued. Completion of this form in its entirety is required for conference registration. Institution Information Asset Size $ (Millions) Institution Name: < B >1B Institution Address: Street City State Zip Code Telephone: Point of Contact: Payment Information Billing Name: Billing Address: Street City State Zip Code Credit Card Type: Amex Visa MC Expiration Date: Credit Card Number: Security Code: Signature of Cardholder: If other payment arrangements are needed, please contact the reservation center: (240) or occ@seiservices.com. * Consecutive session with the risk assessment or credit risk workshops. Participants may attend one or more of these sessions.

5 OCC Director Workshops Compliance Risk Workshop Registration Form Part 2 Attendee Information Name: Mr./Ms./Mrs./Dr. (Please circle one) First Name Last Name Name on Badge: First Name Last Name Title: Director: Inside Outside Other Home Address: Street City State Zip Code Daytime Telephone: Fax: Attendee Assistant s Emergency Contact Emergency Contact Name: (friend or family) Emergency Contact Phone Number (Home or Cell): (do not use the bank phone number) Special Needs/Comments If you have special needs that may affect your participation in this event, please check here. OCC will contact you to discuss your needs. If you have any comments or information concerning your registration that you wish to add, please do so below. For workshop information, please contact (240) Registration Center Hours: 8:30 a.m. 5:30 p.m. ET. FOR REGISTRATION CENTER USE ONLY CONFIRMATION NUMBER:

6 Dates and Locations New Brunswick, NJ* March 28, 2012 Hyatt Regency New Brunswick Hotel Reservations: (732) Room Rate: $ Birmingham, AL* April 18, 2012 The Wynfrey Hotel Hotel Reservations: (800) Room Rate: $ St. Louis, MO* September 6, 2012 Hilton St. Louis at the Ballpark Hotel Reservations: (877) Room Rate: $ Hotel room rates for each location are guaranteed until the following dates: Hyatt Regency New Brunswick, New Brunswick, NJ February 27, 2012 The Wynfrey Hotel, Birmingham, AL March 16, 2012 Hilton St. Louis at the Ballpark, St. Louis, MO August 13, 2012 Hotel rates for this program have been discounted. To make your reservations on a spaceavailable basis, please contact the hotel directly. Some hotels may honor the rate before and after the workshop. When making reservations, please mention the function name: OCC Director Workshops. If you encounter difficulties in making your reservations, please call (240) for assistance. Registration Fee The registration fee is $99, payable at the time of registration. The price includes: Pre-course reading package Course materials CD of several of the OCC s popular telephone seminars Director s Toolkit, which includes The Director s Book, Detecting Red Flags in Board Reports, and Internal Controls Lunch Special Needs If you require special accommodations to participate in this workshop, please call (202) Cancellation Policy All cancellations must be in writing. Cancellations will be accepted by to occ@seiservices.com, or fax notification to (240) If a cancellation is received less than one month before the workshop, no refund will be issued. Questions For additional workshop information, please call (240) or send an to occ@seiservices.com. *Consecutive session with the risk assessment or credit risk workshops. Participants may attend one or more of these sessions.